This licence authorises the licensee to carry on a financial services business to:
provide financial product advice for the following classes of financial products:
derivatives;
interests in managed investment schemes excluding investor directed portfolio services; and
securities; and
deal in a financial product by:
arranging for another person to issue, apply for, acquire, vary or dispose of a financial product in respect of the following classes of financial products:
interests in managed investment schemes excluding investor directed portfolio services; and
securities;
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of the following classes of financial products:
derivatives;
interests in managed investment schemes excluding investor directed portfolio services; and
securities; and
arranging for another person to underwrite:
interests in managed investment schemes; and
an issue of securities;
to wholesale clients.
| Name | First provided advice | Qualification and trainings |
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